SEC Form 4/A · accession 0001140361-15-005142
Sound Financial Bancorp, Inc. · SFBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Matthew P Deines
Officer — EVP / CFO
Period of report
Jan 28, 2015
Accepted (ET)
Feb 10, 2015 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001541119
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 28, 2015 | A | 1,167 | $18.36 | A | 17,105 | D | |
| Common Stock | holding | — | — | — | 12,015 | I | 401(k) | |
| Common Stock | holding | — | — | — | 174 | I | UTMA | |
| Common Stock | holding | — | — | — | 4,941 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $18.36 | Jan 28, 2015 | A | 3,190 | A | — | Jan 28, 2025 | Common Stock | 3,190 | 3,190 | D |
| Stock Option (Right to Buy)F5 | $18.36 | Jan 28, 2015 | A | 8,502 | A | — | Jan 28, 2025 | Common Stock | 8,502 | 8,502 | D |
| Stock Option (Right to Buy)F1 | $9.72 | holding | — | — | — | — | Jan 27, 2019 | Common Stock | 2,006 | 2,006 | D |
| Stock Option (Right to Buy)F2 | $8.49 | holding | — | — | — | — | Feb 28, 2022 | Common Stock | 4,371 | 4,371 | D |
| Stock Option (Right to Buy)F3 | $16.80 | holding | — | — | — | — | Jan 23, 2024 | Common Stock | 18,073 | 18,073 | D |
Explanation of responses
- F1Options vest in five equal annual installments beginning on January 27, 2010
- F2Options vest in five equal annual installments beginning on February 28, 2013
- F3Options vest in five equal annual installments beginning on January 23, 2015
- F4Options vest in three equal annual installments beginning on January 28, 2015.
- F5Options vest in five equal annual installments beginning on January 28, 2016.